Safe and Ethical AI (SEA) Platform Network · Linking Artificial Intelligence Principles (LAIP)

· 1. THE BASICS OF THE CODE

1.1. Legal basis of the Code. The Code duly regards the national legislation of the AI Actors and international treaties. 1.2. Terminology. Terms and definitions in this Code are determined in accordance with applicable international regulatory legal acts and technical regulations in the field of AI. 1.3. AI Actors. For the purposes of this Code, AI Actors are defined as persons and entities, involved in the life cycle of AI systems, including those involved in the provision of goods and services. These include, but are not limited to, the following: • developers who create, train or test AI models systems and develop or implement such models systems, software and or hardware systems and take responsibility for their design; • customers (individuals or organizations) who receive a product or a service; • data providers and persons entities engaged in the formation of datasets for their further use in AI systems; • experts who measure and or assess the parameters of the developed models systems; • manufacturers engaged in the production of AI systems; • AI systems operating entities who legally own the relevant systems, use them for their intended purpose and directly solve practical tasks using AI systems; • operators (individuals or organizations) who ensure the functioning of AI systems; • persons entities with a regulatory impact in the field of AI, including those who work on regulatory and technical documents, manuals, various regulations, requirements and standards in the field of AI; • other persons entities whose actions can affect the results of the actions of AI systems or those who make decisions using AI systems.

Principle: AI Ethics Code (revised version), Oct 21, 2022 (unconfirmed)

Published by AI Alliance Russia

Related Principles

4. Principle of safety

Developers should take it into consideration that AI systems will not harm the life, body, or property of users or third parties through actuators or other devices. [Comment] AI systems which are supposed to be subject to this principle are such ones that might harm the life, body, or property of users or third parties through actuators or other devices. It is encouraged that developers refer to relevant international standards and pay attention to the followings, with particular consideration of the possibility that outputs or programs might change as a result of learning or other methods of AI systems: ● To make efforts to conduct verification and validation in advance in order to assess and mitigate the risks related to the safety of the AI systems. ● To make efforts to implement measures, throughout the development stage of AI systems to the extent possible in light of the characteristics of the technologies to be adopted, to contribute to the intrinsic safety (reduction of essential risk factors such as kinetic energy of actuators) and the functional safety (mitigation of risks by operation of additional control devices such as automatic braking) when AI systems work with actuators or other devices. And ● To make efforts to explain the designers’ intent of AI systems and the reasons for it to stakeholders such as users, when developing AI systems to be used for making judgments regarding the safety of life, body, or property of users and third parties (for example, such judgments that prioritizes life, body, property to be protected at the time of an accident of a robot equipped with AI).

Published by Ministry of Internal Affairs and Communications (MIC), the Government of Japan in AI R&D Principles, Jul 28, 2017

· 1. Foundation of the code action

1.1. Legal basis of the Code. The Code takes into account the legislation of the Russian Federation,the Constitution of the Russian Federation and other regulatory legal acts and strategic planning documents. These include the National Strategy for the Development of Artificial Intelligence, the National Security Strategy of the Russian Federation and the Concept for the Regulation of Artificial Intelligence and Robotics. The Code also considers international treaties and agreements ratified by the Russian Federation applicable to issues ensuring the rights and freedoms of citizens in the context of the use of information technologies. 1.2. Terminology. Terms and definitions in this Code are defined in accordance with applicable regulatory legal acts, strategic planning documents and technical regulation in the field of AI. 1.3. AI Actors. For the purposes of this Code, AI Actors is defined as persons, including foreign ones, participating in the life cycle of an AIS during its implementation in the territory of the Russian Federation or in relation to persons who are in the territory of the Russian Federation, including those involved in the provision of goods and services. Such persons include, but are not limited to, the following: developers who create, train, or test AI models systems and develop or implement such models systems, software and or hardware systems and take responsibility for their design; customers (individuals or organizations) receiving a product; or a service; data providers and persons involved in the formation of datasets for their use in AISs; experts who measure and or evaluate the parameters of the developed models systems; manufacturers engaged in the production of AIS; AIS operators who legally own the relevant systems, use them for their intended purpose and directly implement the solution to the problems that arise from using AIS; operators (individuals or organizations) carrying out the work of the AIS; persons with a regulatory impact in the field of AI, including the developers of regulatory and technical documents, manuals, various regulations, requirements, and standards in the field of AI; and other persons whose actions can affect the results of the actions of an AIS or persons who make decisions on the use of AIS.

Published by AI Alliance Russia in Artificial Intelligence Code of Ethics, Oct 26, 2021

(Preamble)

AI Ethics Code (hereinafter referred to as the Code) establishes general ethical principles and standards of conduct to be followed by those involved in activities in the field of artificial intelligence (hereinafter referred to as AI Actors) in their actions, as well as the mechanisms of implementation of Code’s provisions. The Code applies to relations that cover ethical aspects of the creation (design, construction, piloting), integration and use of AI technologies at all stages, which are currently not regulated by the national legislation and international rules and or by acts of technical regulation. The recommendations of this Code are designed for artificial intelligence systems (hereinafter referred to as AI systems) used exclusively for civil (nonmilitary) purposes. The provisions of the Code may be expanded and or specified for individual groups of AI Actors in sectorial or local documents on ethics in the field of AI considering the development of technologies, the specifics of the tasks being solved, the class and purpose of AI systems and the level of possible risks, as well as the specific context and environment in which AI systems are being used.

Published by AI Alliance Russia in AI Ethics Code (revised version), Oct 21, 2022 (unconfirmed)

· 2. RESPONSIBILITY MUST BE FULLY ACKNOWLEDGED WHEN CREATING AND USING AI

2.1. Risk based approach. The degree of attention paid to ethical AI issues and the nature of the relevant actions of AI Actors should be proportional to the assessment of the level of risk posed by specific AI technologies and systems for the interests of individuals and society. Risk level assessment shall take into account both known and possible risks, whereby the probability level of threats, as well as their possible scale in the short and long term shall be considered. Making decisions in the field of AI use that significantly affect society and the state should be accompanied by a scientifically verified, interdisciplinary forecast of socio economic consequences and risks and examination of possible changes in the paradigm of value and cultural development of the society. Development and use of an AI systems risk assessment methodology are encouraged in pursuance of this Code. 2.2. Responsible attitude. AI Actors should responsibly treat: • issues related to the influence of AI systems on society and citizens at every stage of the AI systems’ life cycle, i.a. on privacy, ethical, safe and responsible use of personal data; • the nature, degree and extent of damage that may result from the use of AI technologies and systems; • the selection and use of hardware and software utilized in different life cycles of AI systems. At the same time, the responsibility of AI Actors should correspond with the nature, degree and extent of damage that may occur as a result of the use of AI technologies and systems. The role in the life cycle of the AI system, as well as the degree of possible and real influence of a particular AI Actor on causing damage and its extent, should also be taken into account. 2.3. Precautions. When the activities of AI Actors can lead to morally unacceptable consequences for individuals and society, which can be reasonably predicted by the relevant AI Actor, the latter, should take measures to prohibit or limit the occurrence of such consequences. AI Actors shall use the provisions of this Code, including the mechanisms specified in Section 2, to assess the moral unacceptability of such consequences and discuss possible preventive measures. 2.4. No harm. AI Actors should not allow the use of AI technologies for the purpose of causing harm to human life and or health, the property of citizens and legal entities and the environment. Any use, including the design, development, testing, integration or operation of an AI system capable of purposefully causing harm to the environment, human life and or health, the property of citizens and legal entities, is prohibited. 2.5. Identification of AI in communication with a human. AI Actors are encouraged to ensure that users are duly informed of their interactions with AI systems when it affects human rights and critical areas of people’s lives and to ensure that such interaction can be terminated at the request of the user. 2.6. Data security. AI Actors must comply with the national legislation in the field of personal data and secrets protected by law when using AI systems; ensure the security and protection of personal data processed by AI systems or by AI Actors in order to develop and improve the AI systems; develop and integrate innovative methods to counter unauthorized access to personal data by third parties and use high quality and representative datasets obtained without breaking the law from reliable sources. 2.7. Information security. AI Actors should ensure the maximum possible protection from unauthorized interference of third parties in the operation of AI systems; integrate adequate information security technologies, i.a. use internal mechanisms designed to protect the AI system from unauthorized interventions and inform users and developers about such interventions; as well as promote the informing of users about the rules of information security during the use of AI systems. 2.8. Voluntary certification and Code compliance. AI Actors may implement voluntary certification systems to assess the compliance of developed AI technologies with the standards established by the national legislation and this Code. AI Actors may create voluntary certification and labeling systems for AI systems to indicate that these systems have passed voluntary certification procedures and confirm quality standards. 2.9. Control of the recursive self improvement of AI systems. AI Actors are encouraged to cooperate in identifying and verifying information about ways and forms of design of so called universal ("general") AI systems and prevention of possible threats they carry. The issues concerning the use of "general" AI technologies should be under the control of the state.

Published by AI Alliance Russia in AI Ethics Code (revised version), Oct 21, 2022 (unconfirmed)

· 6. MAXIMUM TRANSPARENCY AND RELIABILITY OF INFORMATION CONCERNING THE LEVEL OF AI TECHNOLOGIES DEVELOPMENT, THEIR CAPABILITIES AND RISKS ARE CRUCIAL

6.1. Reliability of information about AI systems. AI Actors are encouraged to provide AI systems users with reliable information about the AI systems and most effective methods of their use, harms, benefits acceptable areas and existing limitations of their use. 6.2. Awareness raising in the field of ethical AI application. AI Actors are encouraged to carry out activities aimed at increasing the level of trust and awareness of the citizens who use AI systems and the society at large, in the field of technologies being developed, the specifics of ethical use of AI systems and other issues related to AI systems development by all available means, i.a. by working on scientific and journalistic publications, organizing scientific and public conferences or seminars, as well as by adding the provisions about ethical behavior to the rules of AI systems operation for users and (or) operators, etc.

Published by AI Alliance Russia in AI Ethics Code (revised version), Oct 21, 2022 (unconfirmed)